Audit Report

Australian Government

Australian Skills Quality Authority

 

Audit report – VET Quality Framework

Initial registration as a national VET regulator

(NVR) registered training organisation

 

ORGANISATION DETAILS   
Organisation’s legal name Building Industry Training Pty Ltd  
Trading name/s Building Industry Training Pty Ltd
RTO number 40785
CRICOS number n/a
AUDIT TEAM   
Lead auditor Amanda Fairweather
Auditor/s n/a
Technical adviser/s n/a
AUDIT DETAILS   
Application number/s n/a
Audit number/s 1005269
Audit reason 1 Post initial
Audit reason 2 n/a
Audit reason 3 n/a
Activity type Site visit
Address of site/s visited 8 Errol Flynn Court, Parkwood QLD 4214
Date/s of audit 15/01/2014
Organisation’s contact for audit Rebecca Lynch Managing Directoradmin@buildingtraining.com.au 1300 655 835
Clauses audited 1.1-1.21, 1.26, 1.27, 2, 3, 4, 5, 6, 7.3, 7.4, 8.2, 8.6
BACKGROUND   
  • Building Industry Training Pty Ltd received its initial RTO registration in 2013.
  • The RTO’s organisational structure consists of Managing Director – Rebecca Lynch and Senior Trainer/Assessor – Michael Lynch.
  • The RTO previously had partnership arrangements for training and assessment however these partnerships are currently expired or terminated.
  • Core clients consist of apprentices or existing workers in the building and construction industry.
  • Training and assessment is delivered in the workplace.
  • Fee revenue sources consist of fee for service, User Choice or Construction Skills Queensland funding.
  • NOTE: Rectification evidence was analysed by Anthony Sheppard – A/Principal Compliance Auditor. Total number of current enrolments in RTO as at audit date:
  • 137
AUDIT SAMPLE 
Code Training product  Mode/s of         Current enrolments  delivery/assessment* ( If not yet on scope, record N/A) 
CPC40110       Certificate IV in Building andConstruction (Building) Distance, self-paced,    34  RPL
CPC30211       Certificate III in Carpentry*Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Apprenticeship, RPL      50Mixed, Other (specify)
 
INTERVIEWEES 
Name  Position           Training product 
Rebecca Lynch Managing Director         System wide
Michael Lynch Trainer & Assessor CPC40110 Certificate IV in Buildingand Construction (Building)CPC30211 Certificate III inCarpentry
ORIGINAL AUDIT FINDING  AT TIME OF AUDIT 

Audit finding as at 15/01/2015: Significant non-compliance 

  • The level of non-compliance considers the potential for an adverse impact on the quality of training and assessment outcomes for students.
  • If non-compliance has been identified, this audit report describes evidence of the non-compliance.

Refer to notification of non-compliance for information on providing further evidence of compliance.

AUDIT FINDING FOLLOWING ANALYSIS OF RECTIFICATION EVIDENCE 

Audit finding following analysis of additional evidence provided on 26/02/2015: Compliant 

AUDIT FINDING BY STANDARD
Standard Original finding Finding following rectification
Standard 1 Not compliant Compliant
Standard 2 Not compliant Compliant
Standard 3 Compliant n/a
Standard 4 Not compliant Compliant
Standard 5 Not compliant Compliant
Standard 6 Not compliant Compliant
Standard 7 Compliant n/a
Standard 8 Not compliant Compliant

 

ABOUT THIS REPORT

This report details findings against the Standards for Registered Training Organisations (RTOs) 2015.

 

The evidence guidance included against each clause is designed to guide the auditor and RTO on the requirements of the clause. The evidence guidance is not designed to limit the audit findings and there may be other factors an auditor takes into consideration when determining whether compliance has been demonstrated.

 

Where evidence of non-compliance is identified, the ‘Reasons for finding of non-compliance’ section of the report will document the issues that were considered in the formulation of a finding of non-compliance.

 

Standard 1    The RTO’s training and assessment strategies and practices are responsive to industry and learner needs and meet the requirements of training packages and VET accredited courses.

To be compliant with Standard 1 the RTO must meet the following:

1.1       The RTO’s training and assessment strategies and practices, including the amount of training they provide, are consistent with the requirements of training packages and VET accredited courses and enable each learner to meet the requirements for each unit of competency or module in which they are enrolled.

 

1-01

NOTE – transition arrangements may apply to this clause for audits conducted prior to 30 June 2015

 

Reasons for finding of non-compliance:

 

  •  CPC30211 Certificate III in Carpentry
  •  CPC40110 Certificate IV in Building and Construction (Building)
  • The RTO provided documented training and assessment strategies for the above qualifications.
  • The training and assessment strategies provided did not identify the amount of training to be provided to its learners that are consistent with the AQF’s requirements.

In order to become compliant, the organisation is required to:

  •  CPC30211 Certificate III in Carpentry
  •  CPC40110 Certificate IV in Building and Construction (Building)
  • Provide updated training and assessment strategies that identify the amount of training to be provided to its learners that are consistent with the AQF’s requirements; or
  • Develop and submit a plan to demonstrate how the RTO will be complaint with all aspects of Clause 1.1 and the AQF by no later than 1 July 2015.

Analysis of rectification evidence:

CPC30211 Certificate III in Carpentry

CPC40110 Certificate IV in Building and Construction (Building)

  • The RTO provided amended training and assessment strategies for each of the above listed qualifications together with its Amount of Training policy, Carpentry Annex 1, and Certificate IV Annex 9, extracted from its student handbook. These documents combine to demonstrate compliance with Clause 1.1 and 1.2 – Closed.

1.2       For the purposes of Clause 1.1, the RTO determines the amount of training they provide to each learner with regard to:

  1. a) the existing skills, knowledge and the experience of the learner;
  2. b) the mode of delivery; and
  3. c) where a full qualification is not being delivered, the number of units and/or modules being delivered as a proportion of the full qualification.

 

2-01

Reference: AQF,  AQF volume of learning

NOTE – transition arrangements may apply to this clause for audits conducted prior to 30 June 2015

 


Reasons for finding of non-compliance:

  •  CPC30211 Certificate III in Carpentry
  •  CPC40110 Certificate IV in Building and Construction (Building)
  • The RTO provided documented training and assessment strategies for the above qualifications.
  • The RTO did not demonstrate how the amount of training to be provided is consistent with the existing skills, knowledge and experience of learners, the modes of delivery and the number of

units being delivered.

  • The RTO did not demonstrate that the above training and assessment strategies are consistent with the AQF volume of learning benchmarks, taking into account the above items.

In order to become compliant, the organisation is required to:

 

  • Develop and submit a plan to demonstrate how the RTO will be complaint with all aspects of Clause 1.2 and the AQF by no later than 1 July 2015.

 


Analysis of rectification evidence:

CPC30211 Certificate III in Carpentry

CPC40110 Certificate IV in Building and Construction (Building)

  • The RTO provided amended training and assessment strategies for each of the above listed qualifications together with its Amount of Training policy, Carpentry Annex 1, and Certificate IV Annex 9, extracted from its student handbook. These documents combine to demonstrate compliance with Clause 1.1 and 1.2 – Closed.

 

1.3       The RTO has, for all of its scope of registration, and consistent with its training and assessment strategies, sufficient:

  1. a) trainers and assessors to deliver the training and assessment;
  2. b) educational and support services to meet the needs of the learner cohort/s undertaking the training and assessment;
  3. c) learning resources to enable learners to meet the requirements for each unit of competency, and which are accessible to the learner regardless of location or mode of delivery; and
  4. d) facilities, whether physical or virtual, and equipment to accommodate and support the number of learners undertaking the training and assessment.

3-01

 

1.4       The RTO meets all requirements specified in the relevant training package or VET accredited course.

 

4-01

Reasons for finding of non-compliance:

CPC30211 Certificate III in Carpentry

CPCCCM2007B Use explosive power tools

CPCCCA3004A Construct wall frames

CPC40110 Certificate IV in Building and Construction (Building)

CPCCBC4003A Select and prepare a construction contract

CPCCBC4010B Apply structural principles to residential low rise constructions

  • The RTO did not demonstrate that training and assessment practices are consistent with the

requirements of each training product sampled. Refer to Clause 1.8 for further detail.

In order to become compliant, the organisation is required to:

  • Provide evidence to demonstrate that training and assessment practices are consistent with the requirements of each training product sampled. Refer to Clause 1.8 for further detail.

Analysis of rectification evidence:

  • The RTO provided evidence of compliance with Clause 1.8; therefore, it has demonstrated compliance with Clause 1.4 – Closed.

1.5       The RTO’s training and assessment practices are relevant to the needs of industry and informed by industry engagement

5-01

NOTE – transition arrangements may apply to this clause for audits conducted prior to 30 June 2015

Reasons for finding of non-compliance:

  • The RTO verbally advised that it consulted with industry however did not provide any documented evidence to support this.
  • Therefore the RTO did not demonstrate that its training and assessment practices are relevant to

the needs of industry and informed by industry engagement.

In order to become compliant, the organisation is required to:

  • Provide evidence to demonstrate that its training and assessment practices are relevant to the needs of industry and informed by industry engagement.

Analysis of rectification evidence:

  • The RTO provided its industry engagement policy together with both questionnaire templates and completed questionnaires from students and employers, letters of support from building industry representatives and records of meetings with industry representatives for the review of training and assessment practices to meet industry needs. The RTO has demonstrated compliance – Closed.

1.6       The RTO implements a range of strategies for industry engagement and systematically uses the outcome of that industry engagement to ensure the industry relevance of:

a) its training and assessment strategies, practices and resources; and

b) the current industry skills of its trainers and assessor

6-01

NOTE – transition arrangements may apply to this clause for audits conducted prior to 30 June 2015


 

Reasons for finding of non-compliance:

  • The RTO verbally advised that it consulted with industry however did not provide any documented evidence to support this.
  • Therefore the RTO did not provide evidence of undertaking systematic industry engagement with employers and workplace trainers and using the outcome of that engagement to develop and/or modify its training and assessment strategies, practices and resources, trainer and assessor

skills, as required, to ensure industry relevance.

In order to become compliant, the organisation is required to:

  • Provide evidence that the RTO has engaged with employers where it is conducting training and assessment at the employers’ premises and that it has incorporated feedback from the employers into its training and assessment strategies, practices and resources, trainer and assessor skills,

as required, to ensure that the training and assessment provided is relevant.


 

Analysis of rectification evidence:

  • The RTO provided its industry engagement policy together with both questionnaire templates and completed questionnaires from students and employers, letters of support from building industry representatives and records of meetings with industry representatives for the review of training and assessment practices to meet industry needs. The RTO has demonstrated compliance – Closed.

1.7        The RTO determines the support needs of individual learners and provides access to the educational and support services necessary for the individual learner to meet the requirements of the training product as specified in training packages or VET accredited courses.

7-01

1.8       The RTO implements an assessment system that ensures that assessment (including recognition of prior learning):

a) complies with the assessment requirements of the relevant training package or VET accredited course; and

b) is conducted in accordance with the Principles of Assessment contained in Table 1.8-1 and the Rules of Evidence contained in Table 1.8-2.

8-01

CPCCCM2007B Use explosive power tools

Assessment tools consist of:

  • Record of contact
  • Written and oral questions with marking criteria
  • Third party report / Practical tasks
  • Common written and oral questions and practical tasks which cover knowledge and skill requirements that are applicable for each unit within the qualification
  • RPL Kit
  • Completed student assessment viewed for Zachary Covele, Jake Fortescue, Jye Bakes, Thomas Armour (apprentices) and Michael Gianotti, Geoffrey Sims (RPL)

CPCCCA3004A Construct wall frames

Assessment tools consist of:

  • Record of contact
  • Written and oral questions with marking criteria
  • Third party report / Practical tasks
  • Common written and oral questions and practical tasks which cover knowledge and skill requirements that are applicable for each unit within the qualification
  • RPL Kit
  • Completed student assessment viewed for Michael Gianotti and Geoffrey Sims (RPL), Martin Edwards and Leighton Modini (apprentices)

 

Principles of Assessment – fairness, flexibility, validity, reliability:

 

CPCCCM2007B CPCCCA3004A
Y N Y N Evidence guidance:
X X Elements addressed (to levels as defined in performance criteria)
X X Knowledge evidence/required knowledge addressed
X X Performance evidence/required skills addressed
X X Assessment conditions/critical aspects of evidence addressed
X X Context and consistency of assessment addressed to appropriate AQFlevel
X X Assessment of knowledge and skills is integrated with their practical application
X X Assessment uses a range of assessment methods
X Criteria defining acceptable performance are outlined for all instruments
X X Clear information about assessment requirements is provided (for assessors and students)
X X Allows for reasonable adjustment and provides for objective feedback
X X Considers dimensions of competency and transferability

Rules of Evidence – validity, sufficiency, authenticity, currency:

CPCCCM2007B CPCCCA3004A
Y N Y N Evidence guidance:
X X Validity: Assessment evidence considered has direct relevance tothe unit or module’s specifications
X X Sufficiency: Sufficient assessment evidence is considered to substantiate a competency judgement
X X Authenticity: Assessment evidence gathered is the learner’s own work
X X Currency: Competency judgements include consideration of evidence from the present or the very recent past

Evidence guidance                                                                              Y       N      N/A

CPC40110 Certificate IV in Building and Construction (Building)

Assessment meets the assessment requirements of the training package or course. X
Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) X

CPCCBC4003A Select and prepare a construction contract

Assessment tools consist of:

  • Common written questions
  • Common practical tasks: Selling product to client role play, product research, communication role play, gantt chart task, problem solving case study
  • Marking criteria for all common written and practical assessment tasks
  • Written questions
  • Practical tasks: prepare a contract, calculate building materials, building payments scenario, prepare a construction contract
  • Marking criteria for questions and practical tasks
  • RPL Kit consisting of written and oral questions, practical observation, workplace documentation, written references, third party report
  • Completed student assessment viewed for Anthony Neilsen, Simon Craig, Nathan Stephson (self paced distance), Glen Finning, Scott Hartshorn (RPL)

CPCCBC4010B Apply structural principles to residential low rise constructions

Assessment tools consist of:

  • Common written questions and marking criteria
  • Common practical tasks and marking criteria
  • Written questions
  • Practical tasks: Plans lookout project, prepare work plan, timber size calculation, building site under construction inspection and inspection checklist, new home structural checklist
  • Marking criteria for written questions and practical tasks
  • RPL Kit
  • Completed student assessment viewed for Simon Craig, Anthony Nielsen, Nathan Stephson (self paced distance), Glen Finning, Scott Hartshorn (RPL)

 

Principles of Assessment – fairness, flexibility, validity, reliability:


 

CPCCBC4003A CPCCBC4010B
Y N Y N Evidence guidance:
X X Elements addressed (to levels as defined in performance criteria)
X X Knowledge evidence/required knowledge addressed
X X Performance evidence/required skills addressed
X X Assessment conditions/critical aspects of evidence addressed
X X Context and consistency of assessment addressed to appropriate AQFlevel
X X Assessment of knowledge and skills is integrated with their practical application
X X Assessment uses a range of assessment methods
X X Criteria defining acceptable performance are outlined for all instruments
X X Clear information about assessment requirements is provided (for assessors and students)
X X Allows for reasonable adjustment and provides for objective feedback
X X Considers dimensions of competency and transferability

Rules of Evidence – validity, sufficiency, authenticity, currency:


 

CPCCBC4003A CPCCBC4010B
Y N Y N Evidence guidance:
X X Validity: Assessment evidence considered has direct relevance tothe unit or module’s specifications
X X Sufficiency: Sufficient assessment evidence is considered to substantiate a competency judgement
X X Authenticity: Assessment evidence gathered is the learner’s own work
X X Currency: Competency judgements include consideration of evidence from the present or the very recent past

Reasons for finding of non-compliance:

CPC30211 Certificate III in Carpentry CPCCCM2007B Use explosive power tools CPCCCA3004A Construct wall frames

Assessment tools for the above units did not meet the principles of assessment and rules of evidence. The third party / practical assessment only incorporated a ‘yes’ or ‘no’ tick box, which did not allow the observer to record sufficient detail of the evidence observed to ensure that sufficient assessment evidence is gathered in order to determine competency.

Further, criteria defining acceptable performance was not available for the practical tasks.

For CPCCCA3004A Construct wall frames, assessment did not meet the unit requirements, in particular the required knowledge and critical aspects of evidence.

 

CPC40110 Certificate IV in Building and Construction (Building)

CPCCBC4003A Select and prepare a construction contract

CPCCBC4010B Apply structural principles to residential low rise constructions

Assessment tools for the above units did not meet the principles of assessment and rules of evidence. The range of assessment tools provided did not meet the method of assessment requirement that competency is demonstrated over a period of time reflecting the scope of the role and the practical requirements of the workplace. Further, the evidence provided did not relate to a number of performances assessed at different points in time and separated by further learning and practice.

In order to become compliant, the organisation is required to:

CPC30211 Certificate III in Carpentry CPCCCM2007B Use explosive power tools CPCCCA3004A Construct wall frames

Provide a complete suite of assessment tools for the above units that meet the principles of assessment, rules of evidence and all the requirements of the unit of competency.

Provide third party / practical assessment tools that ensure the collection of sufficient evidence in order to determine competency.

Provide evidence of criteria defining acceptable performance for the practical tasks which provides guidance on the level of performance required to ensure that a reliable decision of competence can be made.

CPC40110 Certificate IV in Building and Construction (Building)

CPCCBC4003A Select and prepare a construction contract

CPCCBC4010B Apply structural principles to residential low rise constructions

Provide a complete suite of assessment tools for the above units that meet the principles of assessment and rules of evidence.

Provide evidence to demonstrate that the range of assessment tools capture competency demonstrated over a period of time reflecting the scope of the role and the practical requirements of the workplace.

Further, evidence collated must relate to a number of performances assessed at different points in time and separated by further learning and practice.

 

Analysis of rectification evidence:

  • The RTO provided a full suite of assessment materials relevant to the outstanding non- compliance. Although the auditor has some reservations concerning the effectiveness of these assessment materials, such effectiveness is best tested through use. Future regulatory activities should examine completed student assessments to confirm the effectiveness of these assessment materials. The RTO has demonstrated compliance with Clause 1.8 – Closed.

 

1.9       The RTO implements a plan for ongoing systematic validation of assessment practices and judgements that includes for each training product on the RTO’s scope of registration:

a) when assessment validation will occur;

b) which training products will be the focus of the validation;

c) who will lead and participate in validation activities; and

d) how the outcomes of these activities will be documented and acted upon.

 

9-01

Reasons for finding of non-compliance:

  • The RTO provided its assessment validation procedure.
  • The evidence provided did not demonstrate when assessment validation will occur for each training product on the RTO’s scope of registration, who will lead and participate in validation activities and how the validation outcomes will be documented and acted upon.

In order to become compliant, the organisation is required to:

  • Provide evidence to demonstrate when assessment validation will occur for each training product on the RTO’s scope of registration, who will lead and participate in validation activities and how the validation outcomes will be documented and acted upon.

 

Analysis of rectification evidence:

  • The RTO provided evidence comprising its moderation and validation of assessment policy, validation moderation form, validation schedule, and results of validation, which combine to demonstrate compliance – Closed.

1.10      For the purposes of Clause 1.9, each training product is validated at least once every five years, with at least 50% of products validated within the first three years of each five year cycle, taking into account the relative risks of all of the training products on the RTO’s  scope of registration, including those risks identified by the VET Regulator.

10-01

Reasons for finding of non-compliance:

  • The RTO provided its assessment validation procedure.
  • The validation procedure did not include how:
    •  All training products will be validated at least once every five years;
    • At least 50% of training products will be validated in the first three years of the above cycle;
    • Relative risk of all training products are taken into account in scheduling validation;
    • Training products identified as high risk by ASQA are taken into account in the scheduling validation
    • How the above has been achieved in implementing the plan for validation of assessment.

In order to become compliant, the organisation is required to:

 

  • Provide evidence to demonstrate how:
    • All training products will be validated at least once every five years;
    • At least 50% of training products will be validated in the first three years of the above cycle;
    • Relative risk of all training products are taken into account in scheduling validation;
    • Training products identified as high risk by ASQA are taken into account in the scheduling validation
    • The above has been achieved in implementing the plan for validation of assessment.

 

Analysis of rectification evidence:

  • The RTO provided evidence comprising its moderation and validation of assessment policy, validation moderation form, validation schedule, and results of validation, which combine to demonstrate compliance – Closed.

 

1.11     For the purposes of Clause 1.9, systematic validation of an RTO’s assessment practices and judgements is undertaken by one or more persons who are not directly involved in the particular instance of delivery and assessment of the training product being validated, and who collectively have:

a) vocational competencies and current industry skills relevant to the assessment being validated;

b) current knowledge and skills in vocational teaching and learning; and

c) the training and assessment qualification or assessor skill set referred to in Item 1 or 3 of Schedule Industry experts may be involved in validation to ensure there is the combination of expertise set out in (a) to (c) above.

 

11-01

1.12      The RTO offers recognition of prior learning to individual learners.

12-01

1.13     In addition to the requirements specified in Clause 1.14 and Clause 1.15, the RTO’s training and assessment is delivered only by persons who have:

a) vocational competencies at least to the level being delivered and assessed;

b) current industry skills directly relevant to the training and assessment being provided; and

c) current knowledge and skills in vocational training and learning that informs their training and assessment.

Industry experts may also be involved in the assessment judgement, working alongside the trainer and/or assessor to conduct the assessment.

 

13-01

1.14     The RTO’s training and assessment is delivered only by persons who have:

a) prior to 1 January 2016, the training and assessment qualification specified in Item 1 or Item 2 of Schedule 1, or demonstrated equivalence of competencies; and

b) from 1 January 2016, the training and assessment qualification specified in Item 1 or Item 2 of Schedule 1.

 

14-01

1.15     Where a person conducts assessment only, the RTO ensures that the person has:

a) prior to 1 January 2016, the training and assessment qualification specified in Item 1 or Item 2 or Item 3 of Schedule 1, or demonstrated equivalence of competencies; and

b) from 1 January 2016, Item 1 or Item 2 or Item 3 of Schedule 1.

15-011

 

1.16      The RTO ensures that all trainers and assessors undertake professional development in the fields of the knowledge and practice of vocational training, learning and assessment including competency based training and assessment.

16-1-01

 

1.17     Where the RTO, in delivering training and assessment, engages an individual who is not a trainer or assessor, the individual works under the supervision of a trainer and does not determine assessment outcomes.

17-01

1.18    The RTO ensures that any individual working under the supervision of a trainer under Clause 1.17:

a) holds the skill set defined in Item 4 of Schedule 1 or, prior to 1 January 2016, is able to demonstrate equivalence of competencies;

b) has vocational competencies at least to the level being delivered and assessed; and c)   has current industry skills directly relevant to the training and assessment being provided.

18-01

1.19     Where the RTO engages an individual under Clause 1.17, it ensures that the training and assessment complies with Standard 1.

19-01

1.20     Without limiting Clauses 1.17 – 1.19, the RTO:

a) determines and puts in place:

     i) the level of the supervision required; and

     ii) any requirements, conditions or restrictions considered necessary on the individual’s involvement in the provision of training and collection of assessment evidence; and

b) ensures that trainers providing supervision monitor and are accountable for all training provision and collection of assessment evidence by the individual under their supervision.

20-01

1.21     Prior to 1 January 2016, to deliver any AQF qualification or skill set from the Training and Education Training Package (or its successor) the RTO must ensure all trainers and assessors delivering the training and assessment:

a) hold the training and assessment qualification at least to the level being delivered; or

b)   have demonstrated equivalence of competencies.

 

21-01

1.22     From 1 January 2016, to deliver any AQF qualification or skill set from the Training and Education Training Package (or its successor) the RTO must ensure all trainers and assessors delivering the training and assessment hold the training and assessment qualification at least to the level being delivered.

Note: from 1 January 2017, the requirements set out in Clause 1.22 continue to apply to any other AQF qualification or skill set from the Training and Education Training Package (or its successor).

Not audited as clause does not commence until 1 January 2016

1.23     From 1 January 2017, to deliver the training and assessment qualification specified in Item

1 of Schedule 1, or any assessor skill set from the Training and Education Training Package (or its successor), the RTO must ensure all trainers and assessors delivering the training and assessment:

a)  hold the qualification specified in Item 5 of Schedule 1; or

b) work under the supervision of a trainer that meets the requirement set out in     (a) above.

Not audited as clause does not commence until 1 January 2017

1.24      The RTO must ensure that any individual working under supervision under Clause 1.23.b) holds the qualification specified in Item 1 of Schedule 1 and does not determine assessment outcomes.

Not audited as clause does not commence until 1 January 2017

1.25      From 1 January 2016, to deliver any AQF qualification or assessor skill set from the

Training and Education Training Package (or its successor), the RTO must have undergone an independent validation of its assessment system, tools, processes and outcomes in accordance with the requirements contained in Schedule 2 (and the definitions of independent validation and validation).

Not audited as clause does not commence until 1 January 2016

1.26     Subject to Clause 1.27 and unless otherwise approved by the VET Regulator, the RTO ensures that:

a) where a training product on its scope of registration is superseded, all learners’ training and assessment is completed and the relevant AQF certification documentation is issued or learners are transferred into its replacement, within a period of one year from the date the replacement training product was released on the National Register;

b) where an AQF qualification is no longer current and has not been superseded, all learners’ training and assessment is completed and the relevant AQF certification documentation issued within a period of two years from the date the AQF qualification was removed or deleted from the National Register;

c) where a skill set, unit of competency, accredited short course or module is no longer current and has not been superseded, all learners’ training and assessment is completed and the relevant AQF certification documentation issued within a period of one year from the date the skill set, unit of competency, accredited short course or module was removed or deleted from the National Register; and

d) a new learner does not commence training and assessment in a training product that has been removed or deleted from the National Register.

26-01

1.27      The requirements specified in Clause 1.26 (a) do not apply where a training package requires the delivery of a superseded unit of competency.

27-01

2.1 The RTO ensures it complies with these Standards at all times, including where services are being delivered on its behalf. This applies to all operations of an RTO within its scope of registration.

2-1-02

 

Reasons for finding of non-compliance:

  • The non-compliances identified at audit demonstrated that the RTO had not ensured that it complies with these Standards at all times across all of the operations within the RTO’s scope of registration.

In order to become compliant, the organisation is required to:

  • Rectify all non-compliances identified in the audit report as evidence of rectifying Clause 2.1.

Analysis of rectification evidence:

  • The RTO provided evidence demonstrating rectification of the non-compliances noted in this report; therefore, the RTO has demonstrated compliance with Clause 2.1 – Closed.

2.2       The RTO:

a) systematically monitors the RTO’s training and assessment strategies and practices to ensure ongoing compliance with Standard 1; and

b) systematically evaluates and uses the outcomes of the evaluations to continually
improve the RTO’s training and assessment strategies and practices. Evaluation information includes but is not limited to quality/performance indicator data collected under Clause 7.5, validation outcomes, client, trainer and assessor feedback and complaints and appeals.

2-2-02

Reasons for finding of non-compliance:

  • The RTO provided its learner surveys, AVETMISS data and assessment validation procedure.

The RTO did not provide evidence to demonstrate how the outcomes of validation have improved

the RTO’s training and assessment strategies and practices.

  •  provide evidence to demonstrate how the outcomes of validation have improved the RTO’s training and assessment strategies and practices.

Analysis of rectification evidence:

  • The RTO provided evidence comprising its moderation and validation of assessment policy, validation moderation form, validation schedule, and results of validation, which combine to demonstrate compliance – Closed.

2.3       The RTO ensures that where services are provided on its behalf by a third party the provision of those services is the subject of a written agreement.

2-3-02

NOTE – transition arrangements may apply to this clause for audits conducted prior to 30 June 2015

2.4       The RTO has sufficient strategies and resources to systematically monitor any services delivered on its behalf, and uses these to ensure that the services delivered comply with these Standards at all times.

2-4-02

NOTE – transition arrangements may apply to this clause for audits conducted prior to 30 June 2015

Standard 3.     The RTO issues, maintains and accepts AQF certification documentation in accordance with these Standards and provides access to learner records. To be compliant with Standard 3 the RTO must meet the following:

3.1       The RTO issues AQF certification documentation only to a learner whom it has assessed as meeting the requirements of the training product as specified in the relevant training package or VET accredited course

3-1-03

3.2       All AQF certification documentation issued by an RTO meets the requirements of Schedule 5

3-2-03

3.3       AQF certification documentation is issued to a learner within 30 calendar days of the learner being assessed as meeting the requirements of the training product if the training program in which the learner is enrolled is complete, and providing all agreed fees the learner owes to the RTO have been paid.

3-3-03-03

3.4       Records of learner AQF certification documentation are maintained by the RTO in accordance with the requirements of Schedule 5 and are accessible to current and past learners.

3-4-03

3.5       The RTO accepts and provides credit to learners for units of competency and/or modules (unless licensing or regulatory requirements prevent this) where these are evidenced by:

a)        AQF certification documentation issued by any other RTO or AQF authorised issuing organisation; or

b) authenticated VET transcripts issued by the Registrar.

3-5-03

3.6       The RTO meets the requirements of the Student Identifier scheme, including:

a) verifying with the Registrar, a Student Identifier provided to it by an individual before using that Student Identifier for any purpose;

b) ensuring that it will not issue AQF certification documentation to an individual without being in receipt of a verified Student Identifier for that individual, unless an exemption applies under the Student Identifiers Act 2014;

c) ensuring that where an exemption described in Clause 3.6 (b) applies, it will inform the student prior to either the completion of the enrolment or commencement of training and assessment, whichever occurs first, that the results of the training will not be accessible through the Commonwealth and will not appear on any authenticated VET transcript prepared by the Registrar; and

d) ensuring the security of Student Identifiers and all related documentation under its control, including information stored in its student management systems.

3-6-03

NOTE – ALL RTOs must comply with Clause 3.6 from 1 January 2015

Standard 4.     Accurate and accessible information about an RTO, its services and performance is available to inform prospective and current learners and clients. To be compliant with Standard 4 the RTO must meet the following:

4.1       Information, whether disseminated directly by the RTO or on its behalf, is both accurate and factual, and:

a) accurately represents the services it provides and the training products on its scope of registration;

b) includes its RTO Code;

c) refers to another person or organisation in its marketing material only if the consent of that person or organisation has been obtained;

d) uses the NRT Logo only in accordance with the conditions of use specified in Schedule 4;

e) makes clear where a third party is recruiting prospective learners for the RTO on its behalf;

f) distinguishes where it is delivering training and assessment on behalf of another RTO or where training and assessment is being delivered on its behalf by a third party;

g) distinguishes between nationally recognised training and assessment leading to the issuance of AQF certification documentation from any other training or assessment delivered by the RTO;

h) includes the code and title of any training product, as published on the National Register, referred to in that information;

i) only advertises or markets a non-current training product while it remains on  the RTO’s scope of registration;

j) only advertises or markets that a training product it delivers will enable learners to obtain a licensed or regulated outcome where this has been confirmed by the industry regulator in the jurisdiction in which it is being advertised;

k) includes details about any VET FEE-HELP, government funded subsidy or other financial support arrangements associated with the RTO’s provision of training and assessment; and

l) does not guarantee that:

            i) a learner will successfully complete a training product on its scope of registration; or

             ii) a training product can be completed in a manner which does not meet the requirements of Clause 1.1 and 1.2; or

             iii)  a learner will obtain a particular employment outcome where this is outside the control of the RTO.

 

4-1-04

Reasons for finding of non-compliance:

  • The RTO provided the following:
    •  Website;
    • Course Overview Flyer
    • Individual Course Brochures
    • Pens
    • Lollies
  • The evidence provided did not support compliance with the requirements of Clause 4.1 because:
    • The approved managerial course listed on the RTO’s website is not identified as non- accredited training.
    • The RTO’s course overview flyer refers to government funding available however does not include the details of the relevant funding available.

In order to become compliant, the organisation is required to:

  • Provide evidence to demonstrate that:
    • The approved managerial course listed on the RTO’s website is identified as non- accredited training.
    • The RTO’s course overview flyer includes the details of the relevant government funding available.

Analysis of rectification evidence:

 

  • A review of the RTOs website confirms that the approved managerial course now includes a note “this is non-accredited training” – Closed.
  • The RTO provided course overview flyers that include the details of the relevant government funding available – Closed.

Standard 5.     Each learner is properly informed and protected. To be compliant with Standard 5 the RTO must meet the following:

5.1       Prior to enrolment or the commencement of training and assessment, whichever comes first, the RTO provides advice to the prospective learner about the training product appropriate to meeting the learner’s needs, taking into account the individual’s existing skills and competencies.

 

5-1-05-05

5.2       Prior to enrolment or the commencement of training and assessment, whichever comes first, the RTO provides, in print or through referral to an electronic copy, current and accurate information that enables the learner to make informed decisions about undertaking training with the RTO and at a minimum includes the following content:

a) the code, title and currency of the training product to which the learner is to be enrolled, as published on the National Register;

b) the training and assessment, and related educational and support services the RTO will provide to the learner including the:

     i) estimated duration;

     ii) expected locations at which it will be provided;

     iii)  expected modes of delivery;

     iv) name and contact details of any third party that will provide training and/or assessment, and related educational and support services to the learner on the RTO’s behalf; and

     v) any work placement arrangement

c) the RTO’s obligations to the learner, including that the RTO is responsible for the quality of the training and assessment in compliance with these Standards, and for the issuance of the AQF certification documentatio

d) the learner’s rights, including:

     i) details of the RTO’s complaints and appeals process required by Standard 6; and

     ii) if the RTO, or a third party delivering training and assessment on its behalf, closes or ceases to deliver any part of the training product that the learner is enrolled in;

e) the learner’s obligations:

     i) in relation to the repayment of any debt to be incurred under the VET FEE-HELP scheme arising from the provision of services;

     ii) any requirements the RTO requires the learner to meet to enter and successfully complete their chosen training product; and

     iii)  any materials and equipment that the learner must provide; and

f) information on the implications for the learner of government training entitlements and subsidy arrangements in relation to the delivery of the service

5-2-05

Reasons for finding of non-compliance:

  • The RTO provided the following evidence:
    • Website
    • Individual Course Brochures
    • Student Handbook
    • Enrolment Form
  • The evidence provided did not include details regarding the learner’s rights if the RTO closes or ceases to deliver the agreed training and/or assessment.

In order to become compliant, the organisation is required to:

  • Provide evidence to demonstrate that prior to enrolment, or the commencement of training and assessment, which comes first, the RTO provides, in print or through referral to an electronic copy, details regarding the learner’s rights if the RTO closes or ceases to deliver the agreed training and/or assessment.

Analysis of rectification evidence:

  • The RTO provided evidence in print detailing the learner’s rights if the RTO closes or ceases to deliver the agreed training and/or assessment – Closed.

5.3       Where the RTO collects fees from the individual learner, either directly or through a third party, the RTO provides or directs the learner to information prior to enrollment or the commencement of training and assessment, whichever comes first, specifying:

a) all relevant fee information including:

      i) fees that must be paid to the RTO; and

      ii) payment terms and conditions including deposits and refunds;

b) the learner’s rights as a consumer, including but not limited to any statutory cooling- off period, if one applies;

c) the learner’s right to obtain a refund for services not provided by the RTO in the event the:

      i) arrangement is terminated early; or

      ii) the RTO fails to provide the agreed service

5-3-05

5.4       Where there are any changes to agreed services, the RTO advises the learner as soon as practicable, including in relation to any new third party arrangements or a change in ownership or changes to existing third party arrangements.

5-4-05

Standard 6.     Complaints and appeals are recorded, acknowledged and dealt with fairly, efficiently and effectively. Subject to Clause 6.6, to be compliant with Standard 6 an RTO must meet the following:

6.1       The RTO has a complaints policy to manage and respond to allegations involving the conduct of:

a) the RTO, its trainers, assessors or other staff;

b) a third party providing services on the RTO’s behalf, its trainers, assessors or other staff; or

c) a learner of the RTO6-1-05-06

6.2       The RTO has an appeals policy to manage requests for a review of decisions, including assessment decisions, made by the RTO or a third party providing services on the RTO’s behalf.

6-2-06

6.3       The RTO’s complaints policy and appeals policy:

a) ensure the principles of natural justice and procedural fairness are adopted at every stage of the complaint and appeal process;

b) are publicly available;

c) set out the procedure for making a complaint or requesting an appeal;

d) ensure complaints and requests for an appeal are acknowledged in writing and finalised as soon as practicable; and

e) provide for review by an appropriate party independent of the RTO and the complainant or appellant, at the request of the individual making the complaint or appeal, if the processes fail to resolve the complaint or appeal.

6-3-06

Reasons for finding of non-compliance:

  • The RTO provided its complaints and appeals policy.
  • The evidence provided did not support compliance as the complaints and appeals policy did not include details of the independent party who is available to review the outcome of a complaint or appeal.

In order to become compliant, the organisation is required to:

  •        provide evidence to demonstrate that the RTO’s complaints and appeals policy includes the details of the independent party who is available to review the outcome of a complaint or appeal.

Analysis of rectification evidence:

  • The RTO provided a copy of its complaints and appeals policy, which includes the details of the independent party who is available to review the outcome of a complaint or appeal. The policy identifies ASQA as an avenue for referral – Closed.

6.4       Where the RTO considers more than 60 calendar days are required to process and finalise the complaint or appeal, the RTO:

a) informs the complainant or appellant in writing, including reasons why more than 60 calendar days are required; and

b) regularly updates the complainant or appellant on the progress of the matter.

6-4-06

6.5       The RTO:

a) securely maintains records of all complaints and appeals and their outcomes; and

b) identifies potential causes of complaints and appeals and takes appropriate corrective action to eliminate or mitigate the likelihood of reoccurrence.

6-5-06

6.6       Where the RTO is an employer or a volunteer organisation whose learners solely consist of its employees or members, does not charge fees for the training and/or assessment, and does not have in place a specific complaints and appeals policy in accordance with Clauses 6.1 & 6.2, the organisation has a complaints and appeals policy which is sufficiently broad to cover the services provided by the RTO.

6-6-06

Standard 7.     The RTO has effective governance and administration arrangements in place. To be compliant with Standard 7 the RTO must meet the following:

7.1       The RTO ensures that its executive officers or high managerial agent:

a) are vested with sufficient authority to ensure the RTO complies with the RTO Standards at all times; and

b) meet each of the relevant criteria specified in the Fit and Proper Person Requirements in Schedule

Not audited

7.2       The RTO satisfies the Financial Viability Risk Assessment Requirements.

Not audited

7.3       Where the RTO requires, either directly or through a third party, a prospective or current learner to prepay fees in excess of a total of $1500 (being the threshold prepaid fee amount), the RTO must meet the requirements set out in the Requirements for Fee Protection in Schedule 6.

7-3-07-07

7.4       The RTO holds public liability insurance that covers the scope of its operations throughout its registration period.

7-4-07-07

7.5       The RTO provides accurate and current information as required by the Data Provision Requirements as updated from time to time.

Not audited

Standard 8.     The RTO cooperates with the VET Regulator and is legally compliant at all times. To be compliant with Standard 8 the RTO must meet the following:

8.1       The RTO cooperates with the VET Regulator:

a) by providing accurate and truthful responses to information requests from the VET Regulator relevant to the RTO’s registration;

b) in the conduct of audits and the monitoring of its operations;

c) by providing quality/performance indicator data;

d) by providing information about substantial changes to its operations or any event that would significantly affect the RTO’s ability to comply with these standards within 90 calendar days of the change occurring;

e) by providing information about significant changes to its ownership within 90 calendar days of the change occurring; and

f) in the retention, archiving, retrieval and transfer of records.

 

8-1-08

Reference: ASQA General Direction –  Retention requirements for completed student assessment items

Reasons for finding of non-compliance:

  • The RTO provided its Records Management Policy and Procedure.
  • The Records Management Procedure referred to keeping a sample of student assessments for 6 months which is not consistent with ASQA’s General Direction – Retention requirements for completed student assessment items.
  • The RTO advised that it receives Construction Skills Queensland and User Choice funding however has not provided this information to ASQA.

In order to become compliant, the organisation is required to:

 

  • Provide evidence to demonstrate that its Records Management Procedure is consistent with ASQA’s General Direction – Retention requirements for completed student assessment items.
  • Submit a Notification of material change or event form to ASQA advising that the RTO receives Construction Skills Queensland and User Choice funding.

Analysis of rectification evidence:

  • The RTO provided evidence of its records management process that includes detail consistent with ASQA’s General Direction – Retention Requirements – Closed.
  • The RTO provided evidence of its submission to ASQA of its material changes relevant to the non-compliance – Closed

8.2       The RTO ensures that any third party delivering services on its behalf is required under written agreement to cooperate with the VET Regulator:

a) by providing accurate and factual responses to information requests from the VET Regulator relevant to the delivery of services; and

b) in the conduct of audits and the monitoring of its operations.

8-2-08

8.3       The RTO notifies the Regulator:

a) of any written agreement entered into under Clause 3 for the delivery of services on its behalf within 30 calendar days of that agreement being entered into or prior to the obligations under the agreement taking effect, whichever occurs first; and

b) within 30 calendar days of the agreement coming to an end.

Not audited

8.4       The RTO provides an annual declaration on compliance with these Standards to the VET Regulator and in particular whether it:

a) currently meets the requirements of the Standards across all its scope of registration and has met the requirements of the Standards for all AQF certification documentation it has issued in the previous 12 months; and

b) has training and assessment strategies and practices in place that ensure that all current and prospective learners will be trained and assessed in accordance with the requirements of the Standard.

Not audited

8.5       The RTO complies with Commonwealth, State and Territory legislation and regulatory requirements relevant to its operations.

Not audited

8.6       The RTO ensures its staff and clients are informed of any changes to legislative and regulatory requirements that affect the services delivered.

8-6-08